DWS Investments UK Limited

• Principal Place of Business

  45 Cannon Street

  LONDON

  London

  EC4M 5SB

  UNITED KINGDOM

  Phone

  +4402075458000

  Web

  https://www.dws.com/en-gb/

• Complaints Contact

  45 Cannon Street

  London

  London

  EC4M 5SB

  UNITED KINGDOM

  Phone

  +4402075458000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Julia Rosa Ricarda Drell

  IRN JRD01171

  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Jul 2021 to 21 Jan 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 21 Jan 2022)
  • CF10 Compliance Oversight (11 Oct 2018 to 8 Dec 2019)
• Julian Harrington Barrell

  IRN JHB01059

  • CF27 Investment Management (28 Jun 2005 to 28 Apr 2006)
• Julian James McKenzie-Smith

  IRN JJM01310

  • CF30 Customer (21 Dec 2017 to 29 Apr 2019)
• Julian Peter Harrison

  IRN JPH01166

  • CF15 Internal Audit (28 Jun 2005 to 21 Nov 2005)
• Julien Boulliat

  IRN JJB01180

  • SMF3 Executive Director (since 4 Apr 2024)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 4 Apr 2024)
  • CF30 Customer (18 Oct 2013 to 8 Dec 2019)
• Juliet Hope Grant Wedderburn

  IRN JHW01056

  • CF29 Significant management (16 May 2014 to 20 Jun 2014)
  • CF30 Customer (16 May 2014 to 20 Jun 2014)
• Karen Boecker

  IRN KAB01091

  • CF30 Customer (4 Dec 2014 to 7 Jul 2016)
• Karl Johan Mikael Ekstrom

  IRN JXE01191

  • CF30 Customer (29 Feb 2008 to 15 Apr 2010)
• Karl Kristoph Robert Meckle

  IRN KKM01009

  • CF30 Customer (1 May 2009 to 21 Oct 2010)
• Karl Strobl

  IRN KXS01214

  • CF30 Customer (1 Nov 2007 to 31 Oct 2012)
  • CF21 Investment Adviser (10 Sep 2007 to 31 Oct 2007)

No changes recorded yet.